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 * Rules & Guidance
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FINRA GATEWAY

EXPLORE THIS SECTION


FINRA MAIN NAVIGATION


FILING & REPORTING

 * FINRA Gateway
 * Systems Status
 * Entitlement Program
 * Market Transparency Reporting Tools
 * Regulatory Filing Systems
 * Data Transfer Tools
 * E-Bill

Compliance. Only Better.

Compliance. Only Better.

Technology shouldn’t slow you down – it should make you more efficient. That’s
why FINRA has launched the new FINRA Gateway.

The new compliance portal, powered by FINRA's Digital Experience Transformation,
is designed to streamline the FINRA compliance and reporting experience by
providing a more flexible solution that can be customized to target your
specific needs.

The new system, which is being implemented in stages, focuses on compliance
functions, such as research, reporting and responding to requests, rather than
on compliance systems. This will ultimately help you perform your compliance
tasks more efficiently. The system also provides users with quick links to the
'Classic' FINRA applications and features you are accustomed to using that have
not yet migrated to the new system.


Login to FINRA Gateway

Questions?  Call 301-590-6500 or write to us.

Login


HOW IS FINRA GATEWAY DOING THIS?

 * The Dashboard: Streamlined navigation will get you to the work or information
   you need faster.
 * Requests: A list of all digital FINRA requests and work due will be
   consolidated in a single place—with the ability to save filtered and sorted
   views.
 * Profiles: Unique Firm, Branch and Individual profiles will allow for better
   navigation and quick access to the forms you need, when you need them. 
 * Reports: A new dynamic and customized reporting capability will allow you to
   create, save and export your registered individual and branch
   information. Learn more about FINRA Gateway Reports.
 * Support: Have issues along the way? Quickly submit your support issues online
   through the system rather than on the phone.
 * Quick Links: Direct links back to the ‘Classic’ FINRA applications and
   features you are accustomed to using, enabling you to transition to the new
   features on your timeline. 
 * Data Entry/Filings: Starting with the enhanced U4 experience, data entry will
   be made easier with a more user friendly and streamlined experience. 
 * Recently Viewed: A record of historic places you have visited to make it
   easier to get back to what you were doing. 
 * Admin: Users now have the ability to control both user and firm settings in
   one easy to find location. 
 * Contacts: Quickly get in contact with someone at FINRA who knows your firm,
   Risk Monitoring Analyst (RMA), Risk Monitoring Director (RMD) and Single
   Point of Accountability (SPOA). FINRA Contact System contacts coming in June.
   Learn more about FINRA Gateway Contacts.


WHAT WILL FINRA GATEWAY ULTIMATELY REPLACE? 

 * Firm Gateway: FINRA Gateway entirely replaces Firm Gateway, which will remain
   available at least through the middle of Q3 2021. 
 * Compliance Calendar: Your firm-specific Compliance Calendar reminders/tasks
   are now included in the FINRA Requests feature. The existing Compliance
   Calendar on FINRA.org will be migrated into FINRA Gateway in 2021.
 * Registration Tasks: FINRA Gateway will become the primary way you navigate
   registration related tasks currently found in Web CRD.
 * Other FINRA Regulatory Systems Found in Firm Gateway: New functionality will
   be released to replace other systems, such as the FINRA Contact System, over
   time. 


KEY DATES

Date

Milestone

Q1 2021

January:

 * Updates to the new data entry experience for U4 in FINRA Gateway. See the
   Registration Filing in FINRA Gateway page for complete information

February:

 * Share and “Save as” abilities within FINRA Gateway Reports
 * CE and NY IARD Templates within FINRA Gateway Reports

Q2 2021

April:  

 * Classic U4 data entry experience retired  
 * Search abilities within FINRA Gateway Requests 
 * View historical filings 

May:  

 * New U5 data entry experience 
 * Customizable home page in FINRA Gateway 

June:  

 * FINRA Contact System (FCS) will move to FINRA Gateway (Firm Gateway FCS will
   be retired) 
 * Firm Gateway CRD Queues available in FINRA Gateway homepage
 * Alerts added as a Notification 
 * Filing Reminders added as a Notification

Q3 2021

July:   

 * Ability to customize Quick links / add Favorites on a user’s homepage  

August:   

IMPORTANT: Several features were retired August 21, 2021.   
 
Firm Gateway — Firms now use FINRA Gateway to access all their
compliance-related tasks.   
 
Classic CRD — The following features in the Classic CRD system were partially or
completely retired:   

 * View Individual 
 * View Organization 
 * Branch Composite View 
 * Individual Search 
 * Branch Search (also known as Organization Search) 
 * Form U5 Filing Capabilities 
 * Several Classic CRD Reports  

See the Registration Filing in FINRA Gateway page for complete information. 

September:  

 * Modernized and centralized system-generated notifications functionality
   launched, beginning with new notifications sent to registered representatives
   with FinPro Accounts who have CE requirements due (optional for firms). 

*These dates may change. 


HOW CAN I PREPARE? 

We want your transition to the new FINRA Gateway to be as seamless as possible.
When you log in to FINRA Gateway, you will have access to tutorials and quick
reference materials.


HELP/FEATURED HELP

Before submitting a support ticket, try searching for what you need using the
‘How Can We Help?’ menu in FINRA Gateway. Users can find a regularly curated
list of time-specific help in the ‘Featured Help’ tab.


WEBINAR

Join one of our FINRA Gateway webinars to help get you started and to ensure you
make the most of the new experience. 

Register for Webinar


VIDEO TOUR

Watch our two-minute video tour of FINRA Gateway to learn more about its new
features and functionality.




WANT TO HELP SHAPE THE FUTURE?

We heard that firms experienced challenges in managing and accessing FINRA’s
multiple systems and data sets. That’s why FINRA Gateway will put everything in
one place — a unified experience. 

We want to keep hearing from you. Sign up to provide us with the feedback that
drives our changes. You can also email us. 


FREQUENTLY ASKED QUESTIONS

Find answers to common questions regarding FINRA Gateway. Still have questions?
Email us. 


RELEASE NOTES

Keep track of recent enhancements to FINRA Gateway.


USER RESEARCH OPPORTUNITIES

Participate in quick research activities and surveys to help shape the FINRA
tools you use on a daily basis. Your feedback can remain anonymous, and there
are no right or wrong answers. You can also read about what we have learned from
previous user research feedback. 




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ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United
States
Learn More

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844-574-3577 (Mon-Fri 9am-5pm ET)

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Report a concern about FINRA at 888-700-0028

File a Regulatory Tip

To report on abuse or fraud in the industry

File an Investor Complaint

File a complaint about fraud or unfair practices.

Small Firm Help Line

833-26-FINRA (Mon-Fri 9am-6pm ET)


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FOOTER LEGAL 2

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